N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Franklin G. Allen NO. 91-01024 Name of Respondents The Chicago Corporation " Roger B. Winship RBPRESJflfi'ATION OF PARTIES For Claimants: Franklin G. Allen, Esq. appeared pro ae. For Respondents: Brian Martin, Esq. and Carol Genis, Esq. of Bell Boyd & Lloyd, and Joy Schulruff, Esq. ACC of the Chicago Corporation. CA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Lisa Sable Brown Claimant vs. Prudential Bache Securities, Inc. n/k/a Prudential Securities, Inc. Anne Adams Mark Harris Respondents CASE #91-01022 AWARD (-ftgE SUMMARY in a claim filed with the National Association of Securities Dealers, Inc. on April 3, 1991, Claimant Lisa Sable Brown who appeared Pro Se, alleged that Respondents Prude

PUBLFC Arbitration * N.A.S.D. AWARD NATIONAL ASSOCIKTICN OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Abdul R. Kazam Name of Respondent Joni Merwin National Association of Securities Dealers, Inc. NASD Financial Center 33 Whiteha" Street New York, N.Y. 10004 FAX (212) 858-4389 91-01020 For Claimant, Abdul R. Kazam: Ihcnas F. Bullock, Esq. For Respondent, Joni Merwin: Joni Merwin.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne Wilson Case# vs. 91-01017 Name of Respondent Prudential Securities, Inc. Kenneth Michael Osier REPRESENTATION For Claimant: Laurence S. Schultz, Esq. of Driggers, Schultz, Herbst & Paterson. For Respondent: Miles D. Hart, Esq, of Hertz, Schram & Saretsky, P.C. CASE INFORMATION Statement of Claim filed: Marc

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Jfetter of the Arbitration Between Of Howard Rothenberg Barbara Rothenberg 91-01016 Name of Respondents PaineWebber, Inc. Charles H. Gocfrin Randall S. For Claimants: Marc A. White, Esq. For Respondents: PaineHebber, Inc. and Charles H. Godwin were represented by Joseph F. Generelli, Esq. Randall S. Sandstrom was represented by Jfarc B. Dorfman, Esq. of th

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dain Rauscher Incorporated and 01-01806 Dallas, Texas Name of Respondent Todd W. Cowle REPRESENTATION OF PARTIES Dain Rauscher Incorporated ("Claimant") was represented by Bruce Collins, Esq., Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Todd W. Cowle ("Respondent") represented himself. CASE INFORMATION The Statement of Claim

N.A.S.D. AWARD NATICNftL ASSQCIOTICN OF SECURITIES DEALERS In the totter of the Arbitration Between Name of Claimant Joseph A. Spurchise 91-01014 Name of Prudential Securities,. Inc. John W.B. Shamlian For Claimant: Samuel J. Costa, Esq, For both Respondents; Christopher P. Trapani, Esq. , in-house counsel. JliPORMMTCM Statement of Claim filed: April 02 , 1991. Claimant's Submission Agreensnt signed: February 27, 1991. Joint Stat

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between ; i George Loukides ' / Claimant ' vs . CASE #91-01009 AWARD George Bauer Respondent SUMMARY Pro Se Claimant, George Loukides, in a claim filed with the National Association of Securities Dealers, Inc. on^ April.2, 1991, alleged that Respondent George Bauer of Le ^9 Ma ?°" " O °^ walker, Inc. misled him into in

N.A.S.D. AWARD . //.ir^} '" ' '. y/r NATIONAL ASSOCIATION OF SECURITIES DEALERS r- In the Matter of the Arbitration Between Name of Claimant George Myers 91-01005 .-, "f*~ Name of Respondents Offerman & Company, Inc. Richard A. Hogan REPRESENTATION For Claimant at the hearing: Rex L. Buxton, Esq. of The Law Offices of Skaar & McCullough, Minneapolis. Minnesota. For Respondents at the hearing: Terrcnce J. Fleming, Esq. of Lindquis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Keren Hachesed of Jfonsey, Inc. 91-01003 Name of Respondent Prudential-Bache Securities, Inc. For Claimant: John J. Phelan, III, Esq. of the law firm of Phelan & Costello, P.C. For Respondent: Jeffrey Sims, Esq. of the law firm of Wilson, Elser, MDskowitz, Edelman & Dicker. Statement of Claim filed: April 2, 1991. Clai